Randall RoethelCRD Number: 1122738
Current Firm: Principal Securities, Inc.
Randall Roethel (CRD# 1122738) is an Investment Advisor Representative working at Principal Securities, Inc. in Oostburg, WI and has over 34 years of experience in the finance industry.
Sii Investments, Inc.
Eagle Strategies LLC
Convergence Investment Partners, LLC
|Principal Life Insurance Company||Oostburg, WI||Jul 1998 - Current||18|
|Princor Financial Services Corporation||Oostburg, WI||Mar 1983 - Current||34|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1983|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,622MILLIONS
Total Number of Accounts15,486ACCOUNTS
Average Account Value$104,766
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV